CFTC And SEC Rules Harmonized To Facilitate General Solicitation

Mani

Published onSeptember 22, 2014

Updated on May 13, 2021

The U.S. Commodity Futures Trading Commission (CFTC) has issued an exemptive letter providing relief from certain provisions restricting marketing of investment opportunities to the public.

A Commodity Pool Operator (CPO) claiming the exemptive relief must file a notice with the Division of Swap Dealer and Intermediary Oversight.

CFTC’s JOBS Act exemptive relief

CFTC’s Division of Swap Dealer and Intermediary Oversight issued a letter on September 9, 2014 providing exemptive relief to CPOs...

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Mani

Mani is a Senior Financial Consultant. He has worked in Senior Management role in large banking, financial and information technology organizations. He has provided solutions for major banking and securities firms across the globe in the area of retail, corporate and investment banking. He holds MBA (Finance) and Professional Management Accounting Qualifications. His hobbies are tracking global financial developments and watching sports

CFTC And SEC Rules Harmonized To Facilitate General Solicitation

CFTC’s JOBS Act exemptive relief

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